Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Plans More Remote Work Rules
By Melanie WaddellAlso under consideration is an update to FINRA's outside business activity rule, according to CEO Robert Cook.
May 11, 2023
HSBC, Scotia Capital Hit With SEC Text Message FinesBoth firms admitted their employees often communicated about securities business using platforms like WhatsApp.
May 11, 2023
CI Financial Sells Stake in U.S. Wealth UnitThe financial firm announced plans last year to take this U.S. division public and still intends to do so in the future, its CEO says.
May 10, 2023
Edward Jones Advisor Headcount Ticks UpThe firm added 78 advisors from a year earlier and said it will hire 1,500 by Dec. 31.
May 09, 2023
F&G Explains Registered Index-Linked Annuity Launch StrategyChris Blunt says it's all about the distribution channels.
May 05, 2023
What's Next for First Republic Advisors & JPMorgan?Will JPMorgan "roll out the red carpet?" If not, more advisors may leave, Tim Welsh says.
May 05, 2023
How Broker-Dealers Are Evolving: PershingAn emerging generation of clients wants less personal interaction and favors data insights, push messaging and simplified decision-making.
May 05, 2023
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsThe number of registered reps increased for the first time since 2015.